TC Group, LLC's Form 4 filing
Soleno Therapeutics Inc (SLNO) · filed May 10, 2023
- Accession no.
- 0000899243-23-012501
- Filed
- May 10, 2023, 4:30 PM ET
- Trade date
- May 8, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 derivative transactions. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| TC Group, LLCCIK 0000933790 | 10% Owner |
| Carlyle Investment Management LLCCIK 0001354120 | 10% Owner |
| Abingworth LLPCIK 0001397144 | 10% Owner |
| Carlyle Group Inc.CIK 0001527166 | 10% Owner |
| Carlyle Holdings I GP Inc.CIK 0001548626 | 10% Owner |
| Carlyle Holdings I GP Sub L.L.C.CIK 0001548627 | 10% Owner |
| Carlyle Holdings I L.P.CIK 0001548628 | 10% Owner |
| CG Subsidiary Holdings L.L.C.CIK 0001790577 | 10% Owner |
| Carlyle Genesis UK LLCCIK 0001941860 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 8, 2023 | Common Stock | PPurchaseAcquired | +1,092,056 | $0.4425 | +$483,234.78 | 1,092,056 | Indirect | |
| May 8, 2023 | Common Stock | PPurchaseAcquired | +1,778,000 | $0.4425 | +$786,765 | 1,778,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.